REVISED UNIFORM ATHLETE AGENTS ACT (2015)

Transcription

1 REVISED UNIFORM ATHLETE AGENTS ACT () drafted by the NATIONAL CONFERENCE OF COMMISSIONERS ON UNIFORM STATE LAWS and by it APPROVED AND RECOMMENDED FOR ENACTMENT IN ALL THE STATES at its ANNUAL CONFERENCE MEETING IN ITS ONE-HUNDRED-AND-TWENTY-FOURTH YEAR WILLIAMSBURG, VIRGINIA JULY - JULY, WITH PREFATORY NOTE AND COMMENTS Copyright By NATIONAL CONFERENCE OF COMMISSIONERS ON UNIFORM STATE LAWS October,

2 ABOUT ULC The Uniform Law Commission (ULC), also known as National Conference of Commissioners on Uniform State Laws (NCCUSL), now in its th year, provides states with non-partisan, well-conceived and well-drafted legislation that brings clarity and stability to critical areas of state statutory law. ULC members must be lawyers, qualified to practice law. They are practicing lawyers, judges, legislators and legislative staff and law professors, who have been appointed by state governments as well as the District of Columbia, Puerto Rico and the U.S. Virgin Islands to research, draft and promote enactment of uniform state laws in areas of state law where uniformity is desirable and practical. ULC strengthens the federal system by providing rules and procedures that are consistent from state to state but that also reflect the diverse experience of the states. ULC statutes are representative of state experience, because the organization is made up of representatives from each state, appointed by state government. ULC keeps state law up-to-date by addressing important and timely legal issues. ULC s efforts reduce the need for individuals and businesses to deal with different laws as they move and do business in different states. ULC s work facilitates economic development and provides a legal platform for foreign entities to deal with U.S. citizens and businesses. Uniform Law Commissioners donate thousands of hours of their time and legal and drafting expertise every year as a public service, and receive no salary or compensation for their work. ULC s deliberative and uniquely open drafting process draws on the expertise of commissioners, but also utilizes input from legal experts, and advisors and observers representing the views of other legal organizations or interests that will be subject to the proposed laws. ULC is a state-supported organization that represents true value for the states, providing services that most states could not otherwise afford or duplicate.

3 REVISED UNIFORM ATHLETE AGENTS ACT () The Committee appointed by and representing the National Conference of Commissioners on Uniform State Laws in preparing this Act consists of the following individuals: DALE G. HIGER, 0 Warm Springs Ave., Boise, ID, Chair ROBERT G. BAILEY, University of Missouri School of Law, Hulston Hall, Columbia, MO LEVI J. BENTON, Milam St., Houston, TX 00 JOHN L. CARROLL, Samford University, Cumberland School of Law, 00 Lakeshore Dr., Birmingham, AL KIERAN MARION, 0 W. Allegan St., th Floor, Lansing, MI THOMAS J. MCCRACKEN, JR., 1 N. Clark St., Suite, Chicago, IL 001 JOHN T. MCGARVEY, 01 W. Main St., Louisville, KY 0 ANNE L. MCGIHON, P.O. Box, Denver, CO 0 DONALD E. MIELKE, S. Chase St., Littleton, CO 0 REBECCA ROCKWELL, Office of Legislative Research and General Counsel, House Bldg., Utah State Capitol Complex, Salt Lake City, UT 1- HARRY M. WALSH, Summit Avenue, #, St. Paul, MN JERRY L. BASSETT, Legislative Reference Service, Alabama State House, S. Union St., Montgomery, AL 0, Reporter EX OFFICIO HARRIET LANSING, 1 Heather Pl., St. Paul, MN -, President STEVEN N. LEITESS, 1 Mill Run Cir., Suite 00, Baltimore, MD, Division Chair AMERICAN BAR ASSOCIATION ADVISOR MICHAEL P. BARNES, Court of Appeals of Indiana, State House, 0 W. Washington St., Indianapolis, IN -, ABA Advisor EXECUTIVE DIRECTOR LIZA KARSAI, 1 N. Wabash, Suite, Chicago, IL 00, Executive Director Copies of this Act may be obtained from: NATIONAL CONFERENCE OF COMMISSIONERS ON UNIFORM STATE LAWS 1 N. Wabash Ave., Suite Chicago, IL 00 /0-00

4 REVISED UNIFORM ATHLETE AGENTS ACT () TABLE OF CONTENTS PREFATORY NOTE... 1 SECTION 1. SHORT TITLE... SECTION. DEFINITIONS.... SECTION. [SECRETARY OF STATE][COMMISSION]; AUTHORITY; PROCEDURE.... SECTION. ATHLETE AGENT: REGISTRATION REQUIRED; VOID CONTRACT.... Alternative A for Sections through SECTION. REGISTRATION AS ATHLETE AGENT; APPLICATION; REQUIREMENTS; RECIPROCAL REGISTRATION... SECTION. CERTIFICATE OF REGISTRATION; ISSUANCE OR DENIAL; RENEWAL. SECTION. SUSPENSION, REVOCATION, OR REFUSAL TO RENEW REGISTRATION.... SECTION. TEMPORARY REGISTRATION.... SECTION. REGISTRATION AND RENEWAL FEES.... Alternative B for Sections through SECTION. COMMISSION ON INTERSTATE REGISTRATION OF ATHLETE AGENTS.... SECTION. REGISTRATION AS ATHLETE AGENT; APPLICATION; REQUIREMENTS.... SECTION. CERTIFICATE OF REGISTRATION; ISSUANCE OR DENIAL; RENEWAL. SECTION. LIMITATION, SUSPENSION, REVOCATION, OR REFUSAL TO RENEW REGISTRATION.... SECTION. TEMPORARY REGISTRATION.... End of Alternatives SECTION. REQUIRED FORM OF AGENCY CONTRACT.... SECTION. NOTICE TO EDUCATIONAL INSTITUTION.... SECTION. STUDENT ATHLETE S RIGHT TO CANCEL SECTION. REQUIRED RECORDS SECTION. PROHIBITED CONDUCT... 1 SECTION. CRIMINAL PENALTY.... SECTION. CIVIL REMEDY.... SECTION. CIVIL PENALTY.... [SECTION. INTERSTATE COMPACT FOR REGISTRATION OF ATHLETE AGENTS.]... SECTION. UNIFORMITY OF APPLICATION AND CONSTRUCTION.... SECTION. RELATION TO ELECTRONIC SIGNATURES IN GLOBAL AND NATIONAL COMMERCE ACT....

5 [SECTION 1. SEVERABILITY.]... SECTION. REPEALS; CONFORMING AMENDMENTS.... SECTION. EFFECTIVE DATE....

6 1 0 1 REVISED UNIFORM ATHLETE AGENTS ACT () PREFATORY NOTE With the immense amount of money at stake for a wide variety of professional athletes and those who represent them, the commercial marketplace in which athlete agents operate is extremely competitive. While seeking to best position one s clients and to maximize their potential income is both legal and good business practice, the recruitment of a student athlete while he or she is still enrolled in an educational institution can and will cause substantial eligibility problems for both the student and the institution, which can in turn lead to severe economic sanctions and loss of scholarships. The problem is more acute where an unscrupulous agent misleads a student, especially where the athlete is not aware of the implications of signing the agency agreement or where an agency contract is entered without notice to the institution. In response to these issues, the Uniform Athlete Agents Act (UAAA) was promulgated by the Uniform Law Commission (ULC) in 00. In general, the UAAA did the following: Defined athlete agent as an individual who directly or indirectly induces or attempts to induce a student athlete to enter an agency contract. Defined student athlete as an individual who engages in, is eligible to engage in, or may be eligible in the future to engage in, any intercollegiate sport. Except under limited and temporary circumstances, prohibited an individual from acting as an athlete agent without registering in the state. Required applicants to disclose: Training, experience, and education; any felony or crime of moral turpitude of which the applicant or an associate has been convicted; any administrative or judicial determination that the applicant has made a false or deceptive representation; and whether the applicant s agent s license has been denied, suspended, or revoked in any state or has been the subject or cause of any sanction, suspension, or declaration of ineligibility. Required agents to maintain executed contracts and other specified records for a period of five years, including information about represented individuals and recruitment. Allowed agents issued a valid certificate of registration or licensure in one state to crossfile that application (or an application for renewal thereof) in other states that have adopted the act. Provided student athletes with a statutory right to cancel an agency contract within days after the contract is signed. Required agency contracts to disclose the amount and method of calculating the agent s compensation, the name of any unregistered person receiving compensation because the athlete signed the agreement, and the reimbursable expenses and services to be provided and contain warnings of the cancellation and notice requirements imposed under the act. 1

7 Required both the agent and the student athlete to give notice of the contract to the athletic director of the affected educational institution within hours of signing the agreement, or before the athlete s next scheduled athletic event, whichever occurs first. Provided educational institutions with a statutory right of action against an athlete agent or former student athlete for damages, including losses and expenses incurred as a result of the educational institution being penalized, disqualified, or suspended from participation by an athletic association or conference, or as a result of reasonable self imposed disciplinary actions taken to mitigate sanctions, as well as costs and reasonable attorney s fees. Prohibited agents from providing materially false or misleading information, promise or representation, with the intent of inducing a student athlete to enter into an agency contract, furnishing anything of value to a student athlete or another person before that athlete enters into an agency contract, intentionally initiate contact with a student athlete unless registered under the act, refusing or willfully failing to retain or permit inspection of required records, failing to register where required; providing materially false or misleading information in an application for registration or renewal thereof; predating or postdating an agency contract; or failing to notify a student athlete that signing an agency contract may make the student athlete ineligible to participate as a student athlete in that sport and imposed criminal penalties for violations of these prohibitions Some states have enacted the UAAA. However, several states have amended the act to, among other things, deal with a perceived lack of enforcement, broaden the coverage of the act to individuals who do not necessarily recruit or solicit a student athlete to enter into an agency contract, and require notice to educational institutions prior to contact. It became evident that the variations from state to state put uniformity at risk and may have discouraged reputable agents from complying with the act. To deal with these issues, the Uniform Law Commission adopted the Revised Uniform Athlete Agents Act (RUAAA) in July of. The purposes of the RUAAA include providing enhanced protection for student athletes and educational institutions, creating a uniform body of agent registration information for use by the state agencies registering agents, and simplifying the registration process for agents. Specifically, the RUAAA: Revises the definition of athlete agent to include an individual who, for compensation or the anticipation of compensation, serves the athlete in an advisory capacity on a matter related to finances, business pursuits, or career management decisions or manages the business affairs of the athlete by providing assistance with bills, payments, contracts, or taxes, and an individual who gives something of value to a student athlete or another person in anticipation of representing the athlete for a purpose related to the athlete s participation in athletics. Contains two alternatives for athlete agent registration. Alternative A includes a true reciprocal registration requirement in that if an individual is issued a certificate of registration by one state, the registration is in good standing and no disciplinary

8 1 proceedings are pending against the registration, and the law in that state is the same or more restrictive as the law in another state, the other state would be required to register the individual. Alternative B would adopt an interstate compact when the act is enacted by at least five states. The compact would create the Commission on Interstate Regulation of Athlete Agents to provide a single registration site where an individual could register to act as an athlete agent in the states that are members of the compact. Adds additional requirements to the signing of an agency contract. The contract must now contain a statement that the athlete agent is registered in the state in which the contract is signed and list any other state in which the agent is registered and be accompanied by a separate record signed by the student athlete acknowledging that signing the contract may result in the loss of eligibility to participate in the athlete s sport. Requires an agent to notify the educational institution at which a student athlete is enrolled before contacting a student athlete and requires an athlete agent with a preexisting relationship with a student athlete who enrolls at an educational institution and receives an athletic scholarship to notify the institution of the relationship if the agent knows or should have known of the enrollment and the relationship was motivated by the intention of the agent to recruit or solicit the athlete to enter an agency contract or the agent actually recruited or solicited the student athlete to enter a contract. Adds criminal penalties for athlete agents who encourage another individual to take on behalf of the agent an action the agent is prohibited from taking and gives student athletes a right of action against an athlete agent in violation of the act.

9 1 REVISED UNIFORM ATHLETE AGENTS ACT () SECTION 1. SHORT TITLE. This [act] may be cited as the Revised Uniform Athlete Agents Act (). SECTION. DEFINITIONS. In this [act]: (1) Agency contract means an agreement in which a student athlete authorizes a person to negotiate or solicit on behalf of the athlete a professional-sports-services contract or endorsement contract. () Athlete agent : (A) means an individual, whether or not registered under this [act], who: (i) directly or indirectly recruits or solicits a student athlete to enter into an agency contract or, for compensation, procures employment or offers, promises, attempts, or negotiates to obtain employment for a student athlete as a professional athlete or member of a professional sports team or organization; (ii) for compensation or in anticipation of compensation related to a student athlete s participation in athletics: (I) serves the athlete in an advisory capacity on a matter related to finances, business pursuits, or career management decisions, unless the individual is an employee of an educational institution acting exclusively as an employee of the institution for the benefit of the institution; or (II) manages the business affairs of the athlete by providing assistance with bills, payments, contracts, or taxes; or (iii) in anticipation of representing a student athlete for a purpose related to the athlete s participation in athletics:

10 1 (I) gives consideration to the student athlete or another person; (II) serves the athlete in an advisory capacity on a matter related to finances, business pursuits, or career management decisions; or (III) manages the business affairs of the athlete by providing assistance with bills, payments, contracts, or taxes; but (B) does not include an individual who: (i) acts solely on behalf of a professional sports team or organization; or (ii) is a licensed, registered, or certified professional and offers or provides services to a student athlete customarily provided by members of the profession, unless the individual: (I) also recruits or solicits the athlete to enter into an agency contract; (II) also, for compensation, procures employment or offers, promises, attempts, or negotiates to obtain employment for the athlete as a professional athlete or member of a professional sports team or organization; or (III) receives consideration for providing the services calculated using a different method than for an individual who is not a student athlete. () Athletic director means the individual responsible for administering the overall athletic program of an educational institution or, if an educational institution has separately administered athletic programs for male students and female students, the athletic program for males or the athletic program for females, as appropriate. [() Commission means the Commission on Interstate Registration of Athlete Agents.] [() Compact means the Interstate Compact for Registration of Athlete Agents.]

11 1 () Educational institution includes a public or private elementary school, secondary school, technical or vocational school, community college, college, and university. () Endorsement contract means an agreement under which a student athlete is employed or receives consideration to use on behalf of the other party any value that the athlete may have because of publicity, reputation, following, or fame obtained because of athletic ability or performance. () Enrolled means registered for courses and attending athletic practice or class. Enrolls has a corresponding meaning. () Intercollegiate sport means a sport played at the collegiate level for which eligibility requirements for participation by a student athlete are established by a national association that promotes or regulates collegiate athletics. () Interscholastic sport means a sport played between educational institutions that are not community colleges, colleges, or universities. () Licensed, registered, or certified professional means an individual licensed, registered, or certified as an attorney, dealer in securities, financial planner, insurance agent, real estate broker or sales agent, tax consultant, accountant, or member of a profession, other than that of athlete agent, who is licensed, registered, or certified by the state or a nationally recognized organization that licenses, registers, or certifies members of the profession on the basis of experience, education, or testing. () Person means an individual, estate, business or nonprofit entity, public corporation, government or governmental subdivision, agency, or instrumentality, or other legal entity. () Professional-sports-services contract means an agreement under which an

12 1 individual is employed as a professional athlete or agrees to render services as a player on a professional sports team or with a professional sports organization. () Record means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form. () Recruit or solicit means attempt to influence the choice of an athlete agent by a student athlete or, if the athlete is a minor, a parent or guardian of the athlete. The term does not include giving advice on the selection of a particular agent in a family, coaching, or social situation unless the individual giving the advice does so because of the receipt or anticipated receipt of an economic benefit, directly or indirectly, from the agent. () Registration means registration as an athlete agent under this [act]. () Sign means, with present intent to authenticate or adopt a record: (A) to execute or adopt a tangible symbol; or (B) to attach to or logically associate with the record an electronic symbol, sound, or process. () State means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States. () Student athlete means an individual who is eligible to attend an educational institution and engages in, is eligible to engage in, or may be eligible in the future to engage in, any interscholastic or intercollegiate sport. The term does not include an individual permanently ineligible to participate in a particular interscholastic or intercollegiate sport for that sport. Legislative Note: The definitions of commission and compact are bracketed to reflect alternatives for registration. See the Legislative Note for Alternative A preceding Section.

13 Comment Only individuals are within the definition of athlete agent and therefore required to register under the act. Corporations and other business entities do not come within the definition of athlete agent and therefore are not required to register under the act, even though individuals employed by the corporation or other business entity as athlete agents would be required to register. The definition also includes other individuals or runners used by an agent to recruit or solicit a student athlete to enter into an agency contract. The amendment of the definition of athlete agent retains the language of the UAAA which makes an individual who directly or indirectly recruits or solicits a student athlete to enter an agency contract an athlete agent, but expands the definition to include an individual who: (1) for compensation, procures or attempts to procure employment for a student athlete as a professional athlete; () for compensation or the anticipation of compensation, represents a student athlete as an athlete or advises a student athlete on finances, business ventures, or career management or manages the business affairs of a student athlete; or () in anticipation of representing a student athlete as an athlete, gives consideration to the student athlete or another person. The term does not include a person who acts solely on behalf of a professional sports team or organization or a licensed, registered, or a certified professional acting within the scope of his or her license, registration, or certification unless the individual also recruits or solicits a student athlete to enter an agency contract or is an individual who, for compensation, procures or attempts to procure employment of a student athlete as a professional athlete or receives consideration for providing the professional services using a different method than for an individual who is not a student athlete. Under the UAAA, an individual who solicited or recruited a student athlete to enter into an agency contract was an athlete agent. Under that law, individuals licensed as, for example, a financial advisor, are providing services to student athletes for little or no compensation in anticipation of signing the athlete to an agency contract, but are not registering as an athlete agent or otherwise complying with the act. Rather than debate whether the action of a licensed, registered, or certified professional is recruiting or soliciting for purposes of the UAAA definition, the definition was revised to remove any ambiguity. A definition of educational institution was added to make clear the act is intended to apply to all educational institutions, whether public or private, and all levels of education. Recruit or solicit, which is used in the definition of athlete agent, is defined to mean attempting to influence the choice of an athlete agent by a student athlete or, if the athlete is a minor, by a parent or guardian of the athlete. The UAAA excluded a spouse, parent, sibling, grandparent, or guardian of a student athlete from the definition of athlete agent. The act was also silent on the issue of coaches and student athletes although a coach who recruited or solicited a student athlete to enter into an agency contract with an athlete agent was technically an athlete agent. The definition of recruit or solicit excludes advice to select a particular athlete

14 1 0 1 agent given in a family, coaching, or social situation unless the advice is given because of the receipt or anticipated receipt of compensation from the agent. Thus, the parent of a student athlete who advises the athlete to select a particular agent is not an athlete agent unless the advice is given in exchange for compensation or the expectation of compensation from the agent. Similarly, a coach of a student athlete who advises the athlete to select a particular agent is not an agent unless the advice is given for compensation or the expectation of compensation from the agent. The definition of student athlete applies to a two-sport athlete who has eligibility remaining in one sport. For example, an individual who has signed a contract to play professional basketball is not a student athlete in basketball, but is a student athlete in baseball. The definition of student athlete also includes individuals who are not yet in college. It includes high school students, high school dropouts and high school graduates who have delayed matriculation to a college or university so long as the individual may have future eligibility for intercollegiate sports. SECTION. [SECRETARY OF STATE][COMMISSION]; AUTHORITY; PROCEDURE. Alternative A (a) The [administrative procedure act] applies to this [act]. The [Secretary of State] may adopt rules under the [administrative procedure act] to implement this [act]. Alternative B (a) Except as otherwise provided in this [act], the commission is an agency of the state in which the headquarters of the commission is located and the law of that state, including the law relating to administrative procedure, public records, and public meetings, applies to the commission. The commission may adopt rules under the [administrative procedure act] of the state in which its headquarters is located to implement this [act]. End of Alternatives (b) By acting as an athlete agent in this state, a nonresident individual appoints the [Secretary of State] [commission] as the individual s agent for service of process in any civil action in this state related to the individual acting as an athlete agent in this state.

15 1 0 [(c) The [Secretary of State] [commission] may issue a subpoena for material that is relevant to the administration of this [act].] Legislative Note: There are two alternatives for subsection (a) to reflect the registration option discussed in the Legislative Note for Alternative A preceding Section. If the administrative procedure act of a state does not give administrative agencies the power to issue a cease and desist order or otherwise prevent continued conduct in violation of the act, the state should consider specifically granting the power to the agency designated as the enforcement agency. The Secretary of State has been designated as the administrator of existing acts regulating the activities of athlete agents more frequently than any other office. It is recognized, however, that the appropriate state office to administer this act may vary from state to state and, therefore, references to the Secretary of State are in brackets. Subsection (c) is in brackets because it may not be required under the administrative procedure acts of some states. SECTION. ATHLETE AGENT: REGISTRATION REQUIRED; VOID CONTRACT. (a) Except as otherwise provided in subsection (b), an individual may not act as an athlete agent in this state without holding a certificate of registration under this [act]. (b) Before being issued a certificate of registration under this [act] an individual may act as an athlete agent in this state for all purposes except signing an agency contract, if: (1) a student athlete or another person acting on behalf of the athlete initiates communication with the individual; and () not later than seven days after an initial act that requires the individual to register as an athlete agent, the individual submits an application for registration as an athlete agent in this state. (c) An agency contract resulting from conduct in violation of this section is void, and the athlete agent shall return any consideration received under the contract. Comment The intent of this section is to make the registration requirement as broad as

16 constitutionally permissible consistent with the minimum contacts theory of International Shoe Company v. Washington, U.S. (). Agents must register in each state in which they have established minimum contacts. For example, an individual in state A contacting a student athlete in state B is acting as an athlete agent in both states and is therefore required to register in both states. Subsection (b) provides a safe harbor for an unregistered individual with whom a student athlete initiates communications. The individual must apply for registration within seven days from the beginning of any effort to recruit or solicit the student athlete to enter into an agency contract. If the individual does not attempt to recruit or solicit the student athlete to sign an agency contract, registration is not required. In addition to the penalties that may be imposed under Sections and, subsection (c) discourages contact with a student athlete by an individual who has not registered as an athlete agent. An agency contract resulting from that contact is void, not merely voidable. Alternative A for Sections through Legislative Note: There are two alternatives for Sections through. Alternative A establishes a registration system in the enacting state which requires the enacting state to register an individual who is registered in another state if the enacting state determines the law of the other state is substantially similar to or more restrictive than the law of the enacting state, the registration in the other state has not been revoked or suspended, and no action involving the agent s conduct as an agent is pending. Alternative B creates a central registration agency, the Commission on Interstate Registration of Athlete Agents, and provides that states enacting Alternative B will be entering into an interstate compact with other states that enact it. While the numbering of the sections in the two alternatives is different because Section of Alternative B creates the commission and the contents of Section are folded into Section, the substantive requirements for the initial registration and the basis for denial of registration or the suspension, revocation, or failure to renew registration are identical in both alternatives. Thus, the effect of Alternative B in a state adopting the compact is to delegate the responsibility for the registration of athlete agents and the civil enforcement of the act to a central entity created by the compact. A state adopting Alternative B also will have to amend Section to include the definition of commission for the new central registration agency and the definition of compact for the interstate compact, select Alternative B for Section (a), add bracketed Section containing language formally creating the Interstate Compact, make conforming changes replacing [Secretary of State] with the commission in Section, and make additional conforming changes in Section. Since the operation of Alternative B is conditioned on that alternative being adopted by at least five states, a state that elects to participate in the interstate compact before the interstate compact becomes effective may wish either to continue its existing athlete agent registration program until the interstate compact becomes effective and the commission created by the compact is in operation or enact Alternative A on an interim basis.

17 1 SECTION. REGISTRATION AS ATHLETE AGENT; APPLICATION; REQUIREMENTS; RECIPROCAL REGISTRATION. (a) An applicant for registration as an athlete agent shall submit an application for registration to the [Secretary of State] in a form prescribed by the [Secretary of State]. The applicant must be an individual, and the application must be signed by the applicant under penalty of perjury. The application must contain at least the following: (1) the name and date and place of birth of the applicant and the following contact information for the applicant: (A) the address of the applicant s principal place of business; (B) work and mobile telephone numbers; and (C) any means of communicating electronically, including a facsimile number, electronic-mail address, and personal and business or employer websites; () the name of the applicant s business or employer, if applicable, including for each business or employer, its mailing address, telephone number, organization form, and the nature of the business; () each social-media account with which the applicant or the applicant s business or employer is affiliated; () each business or occupation in which the applicant engaged within five years before the date of the application, including self-employment and employment by others, and any professional or occupational license, registration, or certification held by the applicant during that time; () a description of the applicant s: (A) formal training as an athlete agent;

18 (B) practical experience as an athlete agent; and (C) educational background relating to the applicant s activities as an athlete agent; 1 () the name of each student athlete for whom the applicant acted as an athlete agent within five years before the date of the application or, if the individual is a minor, the name of the parent or guardian of the minor, together with the athlete s sport and last-known team; () the name and address of each person that: (A) is a partner, member, officer, manager, associate, or profit sharer or directly or indirectly holds an equity interest of five percent or greater of the athlete agent s business if it is not a corporation; and (B) is an officer or director of a corporation employing the athlete agent or a shareholder having an interest of five percent or greater in the corporation; () a description of the status of any application by the applicant, or any person named under paragraph (), for a state or federal business, professional, or occupational license, other than as an athlete agent, from a state or federal agency, including any denial, refusal to renew, suspension, withdrawal, or termination of the license and any reprimand or censure related to the license; () whether the applicant, or any person named under paragraph (), has pleaded guilty or no contest to, has been convicted of, or has charges pending for, a crime that would involve moral turpitude or be a felony if committed in this state and, if so, identification of: (A) the crime; (B) the law-enforcement agency involved; and (C) if applicable, the date of the conviction and the fine or penalty

19 imposed; 1 () whether, within years before the date of application, the applicant, or any person named under paragraph (), has been a defendant or respondent in a civil proceeding, including a proceeding seeking an adjudication of [legal incompetence] and, if so, the date and a full explanation of each proceeding; () whether the applicant, or any person named under paragraph (), has an unsatisfied judgment or a judgment of continuing effect, including [alimony] or a domestic order in the nature of child support, which is not current at the date of the application; () whether, within years before the date of application, the applicant, or any person named under paragraph (), was adjudicated bankrupt or was an owner of a business that was adjudicated bankrupt; () whether there has been any administrative or judicial determination that the applicant, or any person named under paragraph (), made a false, misleading, deceptive, or fraudulent representation; () each instance in which conduct of the applicant, or any person named under paragraph (), resulted in the imposition of a sanction, suspension, or declaration of ineligibility to participate in an interscholastic, intercollegiate, or professional athletic event on a student athlete or a sanction on an educational institution; () each sanction, suspension, or disciplinary action taken against the applicant, or any person named under paragraph (), arising out of occupational or professional conduct; () whether there has been a denial of an application for, suspension or revocation of, refusal to renew, or abandonment of, the registration of the applicant, or any person named under paragraph (), as an athlete agent in any state;

20 1 () each state in which the applicant currently is registered as an athlete agent or has applied to be registered as an athlete agent; () if the applicant is certified or registered by a professional league or players association: (A) the name of the league or association; (B) the date of certification or registration, and the date of expiration of the certification or registration, if any; and (C) if applicable, the date of any denial of an application for, suspension or revocation of, refusal to renew, withdrawal of, or termination of, the certification or registration or any reprimand or censure related to the certification or registration; and () any additional information required by the [Secretary of State]. (b) Instead of proceeding under subsection (a), an individual registered as an athlete agent in another state may apply for registration as an athlete agent in this state by submitting to the [Secretary of State]: (1) a copy of the application for registration in the other state; () a statement that identifies any material change in the information on the application or verifies there is no material change in the information, signed under penalty of perjury; and () a copy of the certificate of registration from the other state. (c) The [Secretary of State] shall issue a certificate of registration to an individual who applies for registration under subsection (b) if the [Secretary of State] determines: (1) the application and registration requirements of the other state are substantially similar to or more restrictive than this [act]; and

21 1 0 1 () the registration has not been revoked or suspended and no action involving the individual s conduct as an athlete agent is pending against the individual or the individual s registration in any state. (d) For purposes of implementing subsection (c), the [Secretary of State] shall: (1) cooperate with national organizations concerned with athlete agent issues and agencies in other states which register athlete agents to develop a common registration form and determine which states have laws that are substantially similar to or more restrictive than this [act]; and () exchange information, including information related to actions taken against registered athlete agents or their registrations, with those organizations and agencies. Comment The UAAA required an application for registration as an athlete agent to contain personal and business information about the applicant. RUAAA expands the information required to be contained on the application to require, among other things, disclosure of financial information and, recognizing that communication between an athlete agent and a student athlete may be by electronic means, electronic mail addresses and social media accounts. The UAAA also contained bracketed language that an application filed under the act was a public record. The intention of the committee was not to rewrite the public record law of any state, but to default to that law, whatever it is. Thus, in some states, certain information on the application, such as a trade secret, may not be a public record, while the public record law in another state may require a different result. Subsection (a)() is not intended to require an athlete agent who is also a licensed, registered, or certified professional, to violate any privilege, including the attorney-client privilege. Section of the UAAA was not a true reciprocal registration provision in that, while it allowed for submission of the application for registration in one state to another state, the second state was free to require additional information or refuse to issue the registration on various grounds. The amended version is a true reciprocal registration provision in that if an individual registered in one state applies for registration in a second state, the second state is required to grant the registration if it determines the law in the first state is the same or more restrictive than the law in the second state, the registration is in good standing, and no proceeding involving the individual s conduct as an athlete agent is pending in any state in which the individual is

22 registered. A central registration point with a single form is the easiest way to facilitate the reciprocal licensing provisions of subsection (b). Subsection (c) encourages the administrative agencies to which the enforcement of the act is delegated to cooperate with agencies from other states to that end. It is recognized there are substantial obstacles to a central registration office, not the least of which is cost. If it is not possible or feasible to create a central registration point, agencies are encouraged to adopt the following standard form: REGISTRATION FORM PART I. GENERAL INFORMATION [Use additional sheets as necessary] 1. Registrant first name:. Registrant middle name:. Registrant last name:. If you have ever been known by any other name, surname, or maiden name, list the name:. Name of your organization involved in providing services for athletes:. Your position or title within the organization identified in Item : 1. Mailing address, city, state, and zip code of organization identified in Item :. Work phone:. Mobile phone:. Fax number:. Work and Personal and Website:. Birthplace and date of birth:

23 . List all social-media accounts with which you and the organization identified in Item are affiliated:. Indicate if you are registered or certified by any professional league or player s association, the date of registration or certification, and, if applicable, the date of expiration, as of the date of the completion of this form, with: Major League Baseball Players Association National Basketball Players Association National Football Players Association National Hockey League Players Association Other None. If "Other" was selected for Item, name the professional association(s):. List all states in which you are currently registered or have applied to be registered pursuant to any state statute regulating athlete agents: 1 PART II. EDUCATION For each item in this part, include: School name, city and state, degree conferred, and year the degree was awarded.. Professional/Graduate School(s):. Undergraduate School(s):. High School(s):

24 PART III. CURRENT OCCUPATION/EMPLOYMENT. Are you self-employed? (Y/N) (If you are not self-employed, skip to Item.) 1. Provide the dates and duration of your self-employment:. Describe the nature of your current self-employment:. If you are not self-employed, provide each item listed below for every organization by which you are employed: Name of employer: Supervisor's name: Supervisor's address and work phone: Initial date of employment (including month and year): Nature of your current employment:. Provide the following information for each firm or organization with which you are currently affiliated: Name, mailing address, phone number, organizational form (for example, a sole proprietorship, corporation, partnership, or other entity), and nature of business: 1. If a firm or organization listed in Item is a partnership, list the name of each partner below. If a firm or organization listed in Item, is a corporation, list the name of each officer and member of the board of directors. For each firm or organization, designate the partners, officers, shareholders, or members of the board of directors who customarily perform work for or on behalf of professional athletes:

25 . List each individual not named in Item, who: (a) has an ownership interest of % or more in each firm or organization listed in Item which is a corporation; (b) has wholly or partially financed your firm or organization (other than financing or credit extended in the ordinary course of business by lending institutions); or (c) directly or indirectly exercises or has the power to exercise a controlling influence over the management of your firm or organization. For each individual, provide their respective name, mailing address, phone number, and nature of involvement (for example, describe the individual s ownership interest, amount of financing provided, or basis of the individual s controlling influence:. Provide your employment history for the past five years or a resume that indicates that employment history: PART IV. PROFESSIONAL BACKGROUND. List each membership you have in a business or professional organization that directly relates to your occupation or profession:. List each occupational or professional license or other similar credential (i.e., Certified Public Accountant, Chartered Life Underwriter, Registered Investment Advisor, etc.) you have obtained, including the date and status of the license or credential obtained: 1 0. Have you ever been denied an occupational or professional license from a state or federal regulatory agency? (Y/N)

26 1. If you answered "Yes" to Item 0, explain each occurrence fully:. Have you ever been denied a business license, franchise, or other similar credential for which you applied? (Y/N). If you answered "Yes" to Item, explain each occurrence fully:. Describe and indicate the status of any application you currently have pending for an occupational or professional license:. Describe and indicate the status of any application you currently have pending for a business license, franchise, or other similar credential:. As part of your professional endeavors, have you ever been reprimanded or censured or has your right to engage in any profession or occupation ever been disqualified, suspended, withdrawn, or terminated? (Y/N). If you answered "Yes" to Item, explain each occurrence fully: 1 PART V. COMPLIANCE BACKGROUND. Have you ever been convicted, reprimanded, censured, disqualified, cited, or otherwise disciplined for a violation of a state statute regulating athlete agents? (Y/N). If you answered "Yes" to Item, for each occurrence specify: any associated complaint or charge, the date of the alleged violation, the result or status of any related investigation, and the name of any authority imposing a related sanction: 1

27 0. Indicate the nature of any charge or complaint currently pending against you regarding your conduct as a member of a profession. For each charge or complaint, specify the name and address of the authority considering the charge or complaint. If no charge or complaint is currently pending against you, enter "None." 1. Have you ever been convicted of or pleaded guilty to a criminal charge or have a criminal charge currently pending against you? (Y/N). If you answered "Yes" to Item 1, provide the following information for each occurrence: Offense, law enforcement agency involved, and, if applicable, the date of conviction and the fine or penalty imposed:. Within the years before the date of this application, have you been a defendant in a civil proceeding? (Y/N). If you answered "Yes" to Item, specify the date of each proceeding and explain each occurrence fully:. If you have been adjudicated legally incompetent by any court within the last years of the date of this application, specify the date and nature of the determination: 1. Have you ever been suspended or expelled from an educational institution? (Y/N). If you answered "Yes" to Item, specify the date of the suspension or expulsion, the educational institution involved, and the reason for the suspension or expulsion:

28 . Is there any unsatisfied judgment of continuing effect against you (including alimony and child support)? (Y/N). If you answered "Yes" to Item, explain the unsatisfied judgment fully: 0. Within the years before the date of this application, have you been declared bankrupt or been an owner or part-owner of a business that was declared bankrupt? (Y/N) 1. If you answered "Yes" to Item 0, specify the date and fully explain each occurrence:. Have you ever been involved in any action that resulted in the imposition of a sanction against an educational institution or the imposition of a sanction against or suspension or declaration of ineligibility of a student athlete from participating in an interscholastic, intercollegiate, or professional athletic event? (Y/N). If you answered "Yes" to Item, provide the following for each occurrence: the complaint or charge, the date of alleged violation, the results or status of any related investigation, and the name of the authority imposing any related sanction: 1. For any organization listed in Item, list any denial, refusal to renew, withdrawal, or termination of the certification or registration, or any reprimand or censure related to the certification or license: ACKNOWLEDGEMENT By entering my name below, I attest under penalty of perjury that all statements, affirmations, and representations made in this application and its attachments are accurate as of my application date and are made for the benefit of the state and its student athletes, both present

29 1 and future, and that the information contained herein, except for information that is a trade secret or personal information the disclosure of which would constitute an unwarranted invasion of personal privacy, is public information and may be provided by the state to student athletes and other individuals without restriction. Name SECTION. CERTIFICATE OF REGISTRATION; ISSUANCE OR DENIAL; RENEWAL. (a) Except as otherwise provided in subsection (b), the [Secretary of State] shall issue a certificate of registration to an applicant for registration who complies with Section (a). (b) The [Secretary of State] may refuse to issue a certificate of registration to an applicant for registration under Section (a) if the [Secretary of State] determines that the applicant has engaged in conduct that significantly adversely reflects on the applicant s fitness to act as an athlete agent. In making the determination, the [Secretary of State] may consider whether the applicant has: (1) pleaded guilty or no contest to, has been convicted of, or has charges pending for, a crime that would involve moral turpitude or be a felony if committed in this state; () made a materially false, misleading, deceptive, or fraudulent representation in the application or as an athlete agent; () engaged in conduct that would disqualify the applicant from serving in a fiduciary capacity; () engaged in conduct prohibited by Section ; () had a registration as an athlete agent suspended, revoked, or denied in any state;